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The process consists of two elements: a questionnaire to be completed by the nation, and a follow-up on-site visit by a NATO-led expert review team, who will meet with representatives of the nation to discuss the replies to the questionnaire. The questionnaire focuses on practical performance rather than legislation. The NATO-led expert view team will exchange views on best practice, and consider with the nation how it might strengthen the integrity of its defence establishment and reduce corruption risk. The expert team is led by NATO International staff, and comprises three or four people, including representatives of nations and of subject matter experts from Transparency International and other experienced organisations.
The questionnaire has been developed through several rounds of discussion with nations and their experts, followed by a trial in three nations. These trials, in Bosnia-Herzegovina, Ukraine, and Norway, were carried out during 2008. The results were very positive, with strong support being expressed from all three nations for the Integrity Self-Assessment Process, despite the very different nature and size of the three countries. The trials also led to helpful revisions of the process, notably in shortening the questionnaire and in refining the format and reporting of the expert visit. A report that describes the results of the trials is separately available.
This handbook contains the questionnaire, guidance on organising the process in-country, a sample briefing note that can be used to brief the Defence Minister or Head of the Armed Forces to introduce the process, and an outline of the format of the visit by the NATO review team. A separate WORD document is available for recording the results of the questionnaire.
While aimed primarily at Defence, the nation may apply the Integrity SelfAssessment Process to other Ministries and institutes in the security sector. The development of the Integrity Self-Assessment Process has been taken forward by a small ad hoc team led by Poland with the participation of Norway, Ukraine, Georgia, Bosnia-Herzegovina, Croatia, the Former Yugoslav Republic of Macedonia*, and the UK, as well as Transparency International (UK), NATO International Staff, and NATO School Oberammergau. The draft text has also been consulted with NC3, UNODC, OECD and DRMI (Monterey).
*Turkey recognises the Republic of Macedonia under its constitutional name
Self-assessment of strengths and weaknesses of the defence integrity system is one of the bases of defence institution-building. This questionnaire is a diagnostic tool to help you in such an assessment. Good anti-corruption processes are also a legal requirement for all NATO Ally and Partner nations who have signed the United Nations Convention Against Corruption (UNCAC). UNCAC is very clear on the obligations of nations. Defence establishments can use this document to help to ensure that their Ministry and the Armed Services are aligned with the Convention. Completion of the questionnaire is voluntary. In accordance with procedures for the exchange of classified information, nations are requested to mark the top and bottom of each page of their response with the appropriate security classification. This Self-Assessment Process is a tool that we believe will be useful for every defence establishment to undergo.
DEFINITIONS
Integrity
Integrity has both a technical and a moral meaning. In a technical sense, we say that the hull of this ship has integrity. This means that the whole system works properly the outer skin of the ship does not leak, and that all the various systems that make up and support the hull are sound and function correctly. In a personal and moral sense, it means that the work has been done honestly and sincerely, and is uncorrupted. In this handbook, when we say integrity, we mean the following: An individual has integrity if he/she is doing their work competently and honestly, and completely. A process has integrity if it works as it is intended to, and fits seamlessly into the larger system of which it is a part. An organisation has integrity if its work is done within proper accountability, competently, to completion, and without diversion of output or resources to corrupt or dishonest ends.
Corruption
Corruption is the abuse of entrusted office for private gain. Countries themselves will often have formal definitions written into their laws. For example, the definition used in Ukraine is the following: The illegal action or inaction by an individual (either human or legal body) authorized to perform State functions directed at illegally obtaining any advantages, benefits, influences, privileges of material or non-material for themselves, or for third parties or groups. In Pakistan, the definition is as follows: Corruption involves behaviour on the part of office holders in the public and private sectors, in which they improperly and unlawfully enrich themselves or those close to them, or induce others to do so, by misusing the position in which they are placed (Government of Pakistan, 2002). Whilst there are many other definitions, our experience is that most people know what it is, even if there is no formal description. For example in the United Nations Convention Against Corruption, which is the principal international convention on the subject, there is no formal definition of corruption; instead they give full definitions of what constitutes a public official. What is more important is to be clear that there are different types of corruption in defence. Measures to address the risks will be effective only where there is an understanding of which particular aspect of the problem is being addressed. This questionnaire assists that understanding.
Good Practice I: Ukraine Holding an open NGO and media meeting During the 2008 trial of the Integrity Self-Assessment Process in Ukraine, the National Security and Defence Council of Ukraine organised a meeting to seek the opinions of a wide range of NGOs and others to inform the visiting NATO team. Some 30 different organisations were represented around the table ranging from journalists through to anti corruption pressure groups, which gave the team an excellent opportunity to be briefed, from a local and non Government perspective, on the situation in the country, the problems, and options for the way ahead. The meeting demonstrated openness and transparency and was a most worthwhile adjunct to the more formal sessions with politicians, military personnel, and government employees. The forthright NGO viewpoint was extremely helpful in complementing and balancing earlier presentations and interviews.
QUESTIONNAIRE
1. Democratic control and engagement
1. Describe Parliaments role in oversight of the defence establishment, including the function of the Defence Committee, oversight and scrutiny of the intelligence services, and key Defence Ministry appointments. Areas to explore: Parliamentary authority over defence policy and high level decisions. Defence Committee membership, competencies, and expert support. Issues of corruption and integrity in the defence establishment (for example, at the political level, military level, and by civil servants).
2. Describe the other providers of defence services in your country, such as the National Guard, Presidential forces, intelligence services, and Border Guards. Are they subject to Parliamentary control and scrutiny? How does this work? To whom are they accountable in the government? What is their relationship with the Defence Ministry? Areas to explore: Issues of organised crime with these forces. Independence (or not) of these forces. Private military contractors their relationship with Defence Ministry, control and scrutiny of activities, and audit.
3. Describe the national defence policy of your country including the role of Parliament and the Defence and Security Committee in its compilation. If there is a stated defence policy, national security strategy, or government paper covering defence policy, please refer to these. How is the defence policy published and how are the public made aware of it? Areas to explore: Laws regarding access to defence information. Availability of and public access to the key documents on defence policy.
4. Describe the Defence Ministrys relationship with civil society including the media and non-governmental organisations (NGOs). How are they consulted or kept informed on specific defence issues, and how frequently? Areas to explore: Civil societys opinion about the integrity of the defence establishment. Medias opinion about the integrity of the defence establishment. Other general opinions of the defence establishment (positive or negative). 8
2. What are the main methods and institutions to build integrity and counter corruption in your country? Areas to explore: National policy, anti-corruption strategy, laws, institutions, and procedures. Anti-corruption and ethics bureaus, audit units, compliance groups, etc.
3. Describe briefly any major cases brought for prosecution of bribery or corruption in your country in the last three years, and the sanctions applied.
2. Describe the level of commitment to anti-corruption and integrity measures within the Defence Ministry as declared by the Defence Minister and the Chief of Defence. How do they publish their policy and guidance internally? Areas to explore: Do the Defence Minister and Chief of Defence talk publicly on integrity issues? If so, describe. What is the level of awareness within the Defence Ministry and across the armed forces of integrity and corruption risk matters? Give examples of steps taken to address integrity and corruption risk within the Defence Ministry and in the armed forces.
3. Describe the measures in place within the Defence Ministry and armed forces to address integrity and corruption issues, and any major reforms underway to ensure that these issues are tackled. Please list all measures being taken.
4. If there is an anti-corruption policy, describe who is responsible for its enforcement. Areas to explore: Is a specific department or individual is responsible for ensuring that this occurs? What is the effectiveness of this?
5. What institutions exist with the aim of building integrity, and combating and preventing corruption in defence? Describe recent successes. Areas to explore: What are the roles of anti-corruption and ethics advisers, external and internal auditors, inspectorates-general, prosecutors, etc? 10
6. Describe the methods and procedures in place to enable defence officials (military and civilian) and armed forces personnel to report evidence of corruption. Areas to explore: Are Defence Ministry officials and armed forces personnel encouraged to report perceived corrupt practices? If so, describe how this happens. Do hotlines exist for whistleblowers for reporting bribery and anticorruption concerns? What protection mechanisms for whistle-blowing are there, how well do they work, the extent of their application. How well known are the procedures? What is the role of the media in bringing cases of suspected corruption to light?
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2. Give details of how breaches of this Code of Conduct are dealt with, and by whom. Describe briefly three cases which have come to notice within the last two years in your country.
3. Briefly describe the process of personnel evaluation including frequency of reports, debriefing/feedback process, and how issues of personal integrity and political activity are addressed. Areas to explore: Meritocracy of appointments/postings how job vacancies are advertised, whether there is room for favouritism, etc. Does regular staff anti-corruption training take place? What is the frequency of rotation of staff in sensitive posts. How do staff declare offers of corporate hospitality (including travel, entertainment, expenses, etc)?
Payroll 4. Describe the mechanisms for the payment of salaries and other income to individuals, outlining what transparency and auditing methods are used on a regular basis together with procedures for publishing the audited data. Areas to explore:
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Violations of Anti-Corruption Policy and Regulations 5. Describe the process for prosecuting corruption incidents, and for disciplining uniformed personnel, civilians, and bidding companies. Areas to explore: How active is the process? What is the role of military courts in this process and are they open to the public?
6. Give details on the extent of prosecutions or internal actions taken against defence and armed forces personnel for bribery or corruption offences in your country in the past three years. Discuss whether the judgements have been made public, and if so how.
7. Give details on the extent of prosecutions of any defence companies in your country in the past three years.
8. Describe how National Audit or Anti-Corruption Offices exercise oversight of procedures within the defence establishment in your country.
9. If national security provisions allow active corruption investigations to be halted, describe the procedures which would need to be followed to justify the process.
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2. Describe the key criteria for your countrys defence acquisitions (for example, national operational requirements, NATO requirements, technology upgrades, etc).
Budgeting 3. Describe the process for presenting the defence budget to Parliament including the key items of expenditure and criteria on which they are based. Is this debated in Parliament? Is the defence budget published each year?
4. Aside from central government allocation, what are the major sources of defence income including sales of surplus equipment, property, other assets?
5. What is the process for public hearings on Defence Ministry budgets in your country, and do the media regularly report on this area?
6. Is the actual Ministry spending for the last year published in detail? If yes, how detailed is it? Is it common for actual spending to be above the budget? Is a report on spending done during the year, and if so, how frequently?
7. Describe the audit process for Defence Ministry expenditure, including the audit cycle, publication of results, oversight by Parliament or other bodies. Are major projects audited separately? If not, please explain why not.
Asset disposal , destruction and leasing 8. Describe the processes for asset disposal, asset destruction, and leasing of assets, together with strengths and weaknesses of the systems. Areas to explore: Procedures for assets including equipment, property, scrap, etc. The process for valuing and managing the sale of surplus property, and steps taken to ensure its integrity. Is the income from property sales disclosed each year in the Ministrys accounts? Which organisation receives the income and what can it be used for? 14
2. Are commanders at all levels clear on what corruption issues they may face during any deployment? Areas to explore: Is there guidance on the subject at the strategic level? At field level, is there clear guidance for troops (national, coalition, and local) and local authorities (including police, judiciary and local government) on acceptable behaviour? Are there oversight mechanisms? Are there training modules available? 3. How is corruption risk mitigated in processes for accelerated and routine procurement (including local contracts and purchases) in a conflict environment?
4. Is the organisation clear on what corruption issues it may face in any deployment? Areas to consider: Is there doctrine and guidance on the subject? At field level, is there clear guidance for troops on acceptable behaviour? Are there oversight mechanisms? Are there training modules available? 5. Is there military doctrine on how to address corruption issues, both at the strategic level for the mission commanders and in the field? Areas to explore: Have the senior commanders been trained? Are there professionals, such as military auditors, capable of monitoring corruption risk in the field? Have they been trained? Do operations plans envisage their presence?
6. Are there processes for accelerated procurement in a conflict environment? If so, have these been reviewed for corruption risk?
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2. Outline any exceptions (together with supporting rationale) for any items or services exempt from the general procurement law.
3. Briefly outline who is responsible for procurement in the Defence Ministry and
armed forces. Is procurement handled through a central procurement office, or is it handled separately in each of the armed forces or Ministry?
5. Describe the procurement oversight mechanisms together with their strengths and weaknesses. Areas to explore:
What are the rules for the rotation of personnel in sensitive posts? What is the requirement for the declaration of assets or gifts acquired in addition to normal and published pay? What are the requirements for declaration of conflict of interests is this applicable to all rank levels? Is the procurement function subject to periodic or random reviews for integrity and ethics?
Scope and requirement for record-keeping. Pre-employment qualifications and training requirements for members of tender boards. 16
7. Describe the processes for the publication of all procurement/acquisition plans (both classified and unclassified) and outline the mechanisms for determining the equipment specifications, including the decision-making processes. Areas to explore: What proportion of potential defence purchases is made public by number and by value? Are thorough and complete written records kept (in paper or electronic form) of each tender submission and of subsequent changes?
Bidding assessment and evaluation. Contract award. Post-contract mechanisms. Declaration of potential conflicts of interests of persons participating. Auditing procedures. When procurements are of a particularly high value, is there an enhanced integrity process/checklist? Please describe. What percentage of contracts use e-procurement, and what is the procedure for the use of e-procurement?
9. Describe the mechanisms for determining quality control of procured goods or services, and outline the procedures used when specifications are not met.
Procurement Special Topics 10. Describe the use of agents and intermediaries used during the procurement cycle, how confidence in their integrity is assured, and outline the strengths and weaknesses of this approach. Areas to explore: Any procedures for vetting of agents. Any policies regarding appropriate conduct in the use of agents.
11. Describe the use of offsets, if used, during the procurement process. Areas to explore: 17
12. Describe the processes to determine what procurements should be operationally essential and single source and include the percentage of each (by number and value) when compared with the conventional procurement cycle. Areas to explore: Decision-making mechanisms. What is the current percentage of defence procurement in your country that is single source (or not competed)? What safeguards are in place to prevent requirements from being shaped such that there can be only one supplier? Any limiting legislation. Any in-house bidding/comparator system if used.
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2. Describe any efforts the Defence Ministry has considered in using companies to help them raise the standards of integrity and anti-corruption across procurement, and any results of such processes.
3. Are bidding companies required to have an ethics programme in order to be able to bid for work? Describe the process and mechanisms which apply when companies do not meet or maintain the standards. Areas to explore: Whether there are any differences in treatment of domestic and foreign firms in the areas of ethics and compliance. How companies are assessed to be reputable. The use of procedures such as blacklisting, debarment, or suspension, and who is responsible for their implementation and updating.
4. What process is used to advise companies of impending procurements in your country? Areas to explore: Planning and purchasing cycles, and documents used. Any differences in procedures used to advise foreign as opposed to domestic companies.
5. Describe the mechanism or processes in your country which enable companies to complain about perceived malpractices in the procurement system, including examples of previous complaints and outcomes.
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FURTHER INFORMATION
For further information on the Integrity Self-Assessment Process, please contact the following:
Susan Pond Director, Partnership for Peace, NATO International Staff Email: s.pond@hq.nato.int
Mark Pyman Director, Defence Against Corruption programme, Transparency International Email: mark.pyman@transparency.org.uk
For further information on the NATO Partnership for Peace and the Euro-Atlantic Partnership Council, please see the following websites: http://www.nato.int/issues/pfp/index.html http://www.nato.int/issues/eapc/
For further information on Transparency Internationals defence sector programme and the wider Transparency International coalition, please see the following websites: http://www.defenceagainstcorruption.org http://www.transparency.org
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